| 10-04327 | 06/18/2013 | Claimant(s): Marguerite Arora, Raveen Arora, The Arora Family Trust
Claimant Lawyers(s): Gerard P. Fox
Respondent(s): Chuck Roberts, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Herbert Murez, Thomas R. Watkins, Karen J. Burneff
Hearing Site: Los Angeles, CA
|  | $205,028 |
| 11-01377 | 03/04/2013 | Claimant(s): Scott Teter
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Elizabeth A. Copley, Herbert Murez, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02510 | 01/08/2013 | Claimant(s): Keith Miller, Keith D. Miller IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Anthony Salino, Joseph Degregorio, Lynn Schultz, Ron Ison, Roy Cohen, Mercer Capital Ltd.
Respondent Lawyers(s): Anthony John Salino, David Schrader, Lynn Gordon Schultz, Ron Jason Ison, Roy Cohen
Arbitrator(s): Herbert Murez, Kenneth E. Owen, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $90,000 |
| 11-02874 | 12/17/2012 | Claimant(s): Donna Berry
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Jeffrey E. Skogsbergh, Elliott David Finkel, Herbert Murez
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04757 | 06/15/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Robert Soucy
Respondent Lawyers(s): Robert Henri Soucy
Arbitrator(s): Alan J. Duncan, Herbert Murez, Paul E. Dahlman
Hearing Site: Las Vegas, NV
| | |
| 11-01991 | 02/07/2012 | Claimant(s): Everest Properties II
Claimant Lawyers(s): Erik O. Valderhaug
Respondent(s): Retirement Capital Group Securities
Respondent Lawyers(s): Kimberly A. Montonati
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
| | $60,153 |
| 10-04393 | 12/20/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steven Glasberg
Respondent Lawyers(s): Steven L. Glasberg
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
| | |
| 10-04761 | 07/01/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jamie Dick
Respondent Lawyers(s): Jamie Dick
Arbitrator(s): Herbert Murez
Hearing Site: Las Vegas, NV
| | |
| 10-05295 | 04/26/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Shurter
Respondent(s): Carolyn Haik
Respondent Lawyers(s): Carolyn J. Haik
Arbitrator(s): Herbert Murez
Hearing Site: Honolulu, HI
| | |
| 09-00630 | 11/17/2010 | Claimant(s): Wendy Rea
Claimant Lawyers(s): Patricio T.D. Barrera
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. Lachaussee
Arbitrator(s): Herbert Murez, Thomas A. Culbertson, Michael John Florio
Hearing Site: Los Angeles, CA
| | |
